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Kevin Lee Baumberger

EAGLE STRATEGIES
INDEPENDENCE, OH
·CRD# 2570723·30 years experience

Professional Summary

Kevin Lee Baumberger is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Independence, Ohio and NYLIFE SECURITIES LLC located in Independence, Ohio. Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

EAGLE STRATEGIES LLC·CRD# 110826
RIA
6100 Oak Tree Blvd. Suite 300 Suite 300 Oh 441, Independence, OH 44131
May 14, 2012 - Present
NYLIFE SECURITIES LLC·CRD# 5167
BD
6100 Oak Tree Blvd. Suite 300, Independence, OH 44131-6970
July 19, 1996 - Present

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Current Firm

ES
EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - SEC (10/14/1988 Approved)

Contact Information

Main Address

51 Madison Avenue 12th Floor, New York, NY 10010

Mailing Address

51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010

Phone Number

(888) 695-3245

# of Employees

3,190

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (7/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

133,900

AUM (Assets Under Management)

$32,040,850,438

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
04/27/2026Cover PageReport
01/24/2025Cover PageReport
04/25/2024Cover PageReport
12/20/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

[K & N LLC; HOME IN SOUTH DAKOTA-3216 TEEWINOT RAPID CITY SD 57703, RENT IT OUT ON A MONTHLY BASIS AND RECEIVE RENT PAYMENTS AS PASSIVE INCOME; 1483 CENTENNIAL DRIVE LODI CA 95242 (ADMINISTRATION OF PROPERTY); START DATE 05/2012; ROLE/TITLE: OWNER; NOT INVESTMENT RELATED; 1 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [K & N Hillside LLC; land in South Dakota-24575 Medicine Root Road Hermosa SD 57744 to some day build a second home.; 1483 Centennial Drive Lodi CA 95242; Start Date 05/2019 (administration of LLC); Role/Title: Owner; Investment Related; 4 hours per month; 0 hours per month during securities trading hours] [K&N Cabin LLC; We are looking to purchase land with a Cabin on it in Hermosa South Dakota from my In Laws. We would rent it as a VRBO during the summer months of the year.; 1483 Centential Drive Lodi CA 95242; Start Date 12/2019; Role/Title: Owner; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours][Cornerstone of Hope ; Bereavement organization helping people cope with the loss of someone close or a loved one ; 5909 Brecksville Road Independence Ohio 44131; Start Date 01/2025; Role/Title: Board Member; Not Investment Related; 4 hours per month; 1 hours per month during securities trading hours; Strategic Planning committee helping with the expansion, growth and addition of staff to provide additional services and / or the organization foot print in the community]

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ES
EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - SEC (10/14/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(7/29/2014)
RR
Florida
(7/18/2025)
RR
Ohio
(5/19/2024)
IAR
Ohio
(6/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 1996About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Apr 2001About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Kevin Lee Baumberger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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